EN
Erik J. Neville
VERITY ASSET MANAGEMENT
HIGHLAND, UT
Some features on this profile are disabled
CRD#: 6794670
EN
Professional summary
Erik James Neville, who also goes by Erik J. Neville, Erik James Neville, is a registered financial advisor currently at VERITY ASSET MANAGEMENT located in Highland, Utah and VERITY INVESTMENTS, INC. located in Durham, North Carolina.
Erik is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2018. Erik has worked at 2 firms and has passed the Series 63, Series 65, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Erik J. Neville | Erik James Neville
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1) Teacher's Pension and Insurance Services, Inc. DBA Teacher's Pension Consulting Services; Not investment-related; Highland, UT; Insurance and pension agency; Officer; Owner; 01/2006; 280 hours per month; 160 during market hours; Train agents, provide marketing and support & provide mortgage leads and managing the companies holdings, assets, distributions, marketing to non-k12 2) Verity Asset Management, Inc.; Investment-related; Durham NC; Registered Investment Adviser; Contractor; Investment advisor representative; 01/2018; 160 hours per month; 160 during market hours; Investment advisory services. 3) American Pension and Insurance Service, LLC. DBA Encompass Pension & Insurance Services; Not investment-related; Oakdale, CA; Insurance agency and real estate; Officer; Managing member; 01/2010; 2 hours per month, 2 during market hours; Marketing brand used for outside of school district, also used as a property manager and owner. 4) Pavia Financial Services, Inc. DBA Capital Loan Associates / Teacher's Mortgage Services; Not investment-related; Oakdale, CA; Real estate; Contractor; Real estate and mortgage broker; 01/2010; 5 hours per month, 5 during market hours; Provide mortgage leads, manage company holdings, assets, and distributions, and market to non-K12. 5) SRE, LLC. DBA School Retirement Educators; Not investment-related; Oakdale, CA; Pass through entity; Officer, Partner; 01/2010; 1 hour per month, 1 during market hours; Administrative duties. 6) PlanScope360, LLC.; Not investment-related; Highland, UT; Plan Administration; Partner; Sales manager; 01/2024; 10 hours per month, 10 during market hours; Sales and implementation of TPA. 7) Insurance Staffing Services, LLC.; Not investment-related; Oakdale, CA; Insurance marketing; Officer; Owner; 12/2020; 10 hours per month, 10 during market hours; Provide clerical and staffing support for Teacher's Pension. 8) Cliff Lake Holdings, LLC.; Not investment-related; Highland, UT; Real estate; Officer; President; 07/2024; 3 hours per month, 3 during market hours; Manage real estate portfolio.
CRS (Client Relationship Summary) - RIA
Click below to view Erik James Neville's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
January 10, 2019 - Present
VERITY ASSET MANAGEMENT
RIA
CRD#: 158667
HIGHLAND, UT
Current
February 2, 2018 - Present
VERITY INVESTMENTS, INC.
Office #1: 280 S Mangum St Ste 550, Durham, NC 27701-3683BD
CRD#: 41527
Durham, NC
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
VA
VERITY ASSET MANAGEMENT
ENCOMPASS MORE | VERITY ASSET MANAGEMENT, INC. | VERITY ASSET MANAGEMENT
CRD#: 158667 / SEC#: 801-66730
RIA
Registered Investment Advisory firm - (5/26/2006 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(1/16/2019)
RR
California(1/10/2019)
IAR
California(1/10/2019)
IAR
New Hampshire(11/26/2024)
RR
New Jersey(1/12/2022)
RR
North Carolina(10/28/2022)
IAR
Texas(5/18/2021)
RR
Texas(10/14/2021)
RR
Utah(1/5/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
VA
VERITY ASSET MANAGEMENT
ENCOMPASS MORE | VERITY ASSET MANAGEMENT, INC. | VERITY ASSET MANAGEMENT
CRD#: 158667 / SEC#: 801-66730
RIA
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Contact information
Main Address
280 S Mangum St Ste 550, Durham, NC 27701-3676
Mailing Address
Phone number
(919) 490-6717
Established
Firm type
Fiscal year end
# of Employees
67
SEC notice filing (35 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 7,199 |
| AUM (Assets Under Management) | $ 1,041,329,944 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
